0000702007-26-000007.txt : 20260506 0000702007-26-000007.hdr.sgml : 20260506 20260505192240 ACCESSION NUMBER: 0000702007-26-000007 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20260331 FILED AS OF DATE: 20260506 DATE AS OF CHANGE: 20260505 EFFECTIVENESS DATE: 20260506 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CALDWELL SUTTER CAPITAL, INC. CENTRAL INDEX KEY: 0000702007 ORGANIZATION NAME: EIN: 942799654 STATE OF INCORPORATION: CA FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-22901 FILM NUMBER: 26945258 BUSINESS ADDRESS: STREET 1: 30 LIBERTY SHIP WAY #3225 CITY: SAUSALITO STATE: CA ZIP: 94965-3324 BUSINESS PHONE: 415-367-4981 MAIL ADDRESS: STREET 1: PO BOX 190 CITY: SAUSALITO STATE: CA ZIP: 94966-0190 FORMER COMPANY: FORMER CONFORMED NAME: CALDWELL SECURITIES, INC DATE OF NAME CHANGE: 20100708 FORMER COMPANY: FORMER CONFORMED NAME: CALDWELL SECURITIES, INCORPORATED DATE OF NAME CHANGE: 20041201 FORMER COMPANY: FORMER CONFORMED NAME: CALDWELL SECURITIES INC /BD DATE OF NAME CHANGE: 19820422 13F-HR 1 primary_doc.xml X0202 13F-HR LIVE false false false 0000702007 XXXXXXXX 03-31-2026 03-31-2026 CALDWELL SUTTER CAPITAL, INC.

PO BOX 190 SAUSALITO CA 94966-0190

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464288851 24980 200 SH SOLE 0 0 200 EAFE VALUE ETF 464288877 5279 71 SH SOLE 0 0 71 EAFE GRWTH ETF 464288885 3898 35 SH SOLE 0 0 35 ISHARES 46428Q109 31821 467 SH SOLE 0 0 467 US TREAS BD ETF 46429B267 6873 300 SH SOLE 0 0 300 MSCI USA MIN VOL 46429B697 49059 529 SH SOLE 0 0 529 MSCI USA QLT FCT 46432F339 1918 10 SH SOLE 0 0 10 MSCI USA VALUE 46432F388 284 2 SH SOLE 0 0 2 MSCI EQUAL WEITE 46432F396 960 4 SH SOLE 0 0 4 CORE MSCI EAFE 46432F842 91848 1015 SH SOLE 0 0 1015 CORE MSCI EMKT 46434G103 18833 270 SH SOLE 0 0 270 MSCI EMRG CHN 46434G764 9754 124 SH SOLE 0 0 124 MSCI JPN ETF NEW 46434G822 1858 22 SH SOLE 0 0 22 0-5YR INVT GR CP 46434V100 3787 75 SH SOLE 0 0 75 MSCI INTL MOMENT 46434V449 480 10 SH SOLE 0 0 10 MSCI INTL QUALTY 46434V456 740 16 SH SOLE 0 0 16 GLOBAL REIT ETF 46434V647 3596 143 SH SOLE 0 0 143 TRS FLT RT BD 46434V860 32201 636 SH SOLE 0 0 636 MSCI UK ETF NEW 46435G334 21185 465 SH SOLE 0 0 465 ESG AWR MSCI USA 46435G425 8202 58 SH SOLE 0 0 58 ESG AWARE MSCI 46435U663 42506 904 SH SOLE 0 0 904 US INFRASTRUC 46435U713 7488 131 SH SOLE 0 0 131 ESG SCRD S&P MID 46436E551 44962 991 SH SOLE 0 0 991 0-3 MNTH TREASRY 46436E718 4422445 43934 SH SOLE 0 0 43934 COM 46625H100 2646281 8996 SH SOLE 0 0 8996 EQUITY PREMIUM 46641Q332 53449 943 SH SOLE 0 0 943 ULTRA SHRT INC 46641Q837 410933 8120 SH SOLE 0 0 8120 MORTGAGE BACKED 46654Q575 1989 39 SH SOLE 0 0 39 JPMORGAN INTL VL 46654Q757 12246 143 SH SOLE 0 0 143 HENDERSON AAA CL 47103U845 25235 501 SH SOLE 0 0 501 COM NEW 47733C207 6846 4200 SH SOLE 0 0 4200 COM 478160104 1565523 6405 SH SOLE 0 0 6405 COM 48251W104 2313 25 SH SOLE 0 0 25 COM 486606106 2014515 141072 SH SOLE 0 0 141072 COM 49177J102 490943 28477 SH SOLE 0 0 28477 COM 493267108 318858 15903 SH SOLE 0 0 15903 COM 49338L103 423837 1501 SH SOLE 0 0 1501 COM 494368103 358083 3712 SH SOLE 0 0 3712 COM 49446R109 3730 166 SH SOLE 0 0 166 COM 49456B101 366516 10931 SH SOLE 0 0 10931 COM 49714P108 238479 698 SH SOLE 0 0 698 COMMON STOCK 498894104 52664 645 SH SOLE 0 0 645 COM 500255104 452 35 SH SOLE 0 0 35 NY REGIS SHS NEW 500472303 40714 1486 SH SOLE 0 0 1486 COM 500754106 5818 259 SH SOLE 0 0 259 COM NEW 50077B207 274989 3900 SH SOLE 0 0 3900 COM 501044101 65124 900 SH SOLE 0 0 900 COMMON STOCK 50155Q100 11493 876 SH SOLE 0 0 876 COM 50186A108 561914 80851 SH SOLE 0 0 80851 COM 502160104 372500 25000 SH SOLE 0 0 25000 COM 502431109 61437 178 SH SOLE 0 0 178 COM NEW 512807306 393989 1844 SH SOLE 0 0 1844 COM 513272104 8452 200 SH SOLE 0 0 200 CL A 518439104 1507 21 SH SOLE 0 0 21 CLEARBRIDGE DI 524682309 77264 1431 SH SOLE 0 0 1431 COM CL A 53115L104 2880 100 SH SOLE 0 0 100 COM 532457108 38630 42 SH SOLE 0 0 42 COM 532746104 725 54 SH SOLE 0 0 54 COM 534187109 1278 36 SH SOLE 0 0 36 COM NEW 53630X203 3763 471 SH SOLE 0 0 471 ROUNDHILL BALL 53656F417 12585 790 SH SOLE 0 0 790 SHS 53681J103 15800 4000 SH SOLE 0 0 4000 COM 538034109 15251 100 SH SOLE 0 0 100 COM 539830109 951914 1575 SH SOLE 0 0 1575 COM 540424108 224154 2100 SH SOLE 0 0 2100 COM 548661107 401440 1699 SH SOLE 0 0 1699 COM NEW 549498202 334 35 SH SOLE 0 0 35 COM 55024U109 2108 3 SH SOLE 0 0 3 COM 55261F104 10336 50 SH SOLE 0 0 50 COM CL A 553368101 11631 241 SH SOLE 0 0 241 COM 553498106 4800292 29279 SH SOLE 0 0 29279 COM 55380K109 48399 724 SH SOLE 0 0 724 COM CL A 558256103 295 5 SH SOLE 0 0 5 CL A 55825T103 1607 5 SH SOLE 0 0 5 SHS 55939A107 418 44 SH SOLE 0 0 44 COM 56064Y100 195760 8818 SH SOLE 0 0 8818 COM 56501R106 65229 1894 SH SOLE 0 0 1894 COM 56585A102 82777 339 SH SOLE 0 0 339 COM 57164Y107 1107 17 SH SOLE 0 0 17 COM 571748102 81868 472 SH SOLE 0 0 472 NEW CL A 571903202 65414 200 SH SOLE 0 0 200 COM 573874104 246436 2488 SH SOLE 0 0 2488 CL A 57636Q104 314786 630 SH SOLE 0 0 630 COM 577081102 19543 1345 SH SOLE 0 0 1345 COM 580135101 1098332 3534 SH SOLE 0 0 3534 COM 58155Q103 12980 15 SH SOLE 0 0 15 COM 58463J304 5708 1233 SH SOLE 0 0 1233 COM CL A 58507V107 1113 25 SH SOLE 0 0 25 COM 58733R102 1729 1 SH SOLE 0 0 1 COM 58933Y105 1129999 9394 SH SOLE 0 0 9394 COM 59151K108 1489 25 SH SOLE 0 0 25 COM 59156R108 107707 1523 SH SOLE 0 0 1523 COM 59165J105 164623 5742 SH SOLE 0 0 5742 COM 592770101 40880 4000 SH SOLE 0 0 4000 COM 594918104 2694525 7279 SH SOLE 0 0 7279 CL A NEW 594972408 7488 60 SH SOLE 0 0 60 COM 595112103 130744 387 SH SOLE 0 0 387 COM 59522J103 36636 300 SH SOLE 0 0 300 COM NEW 606710200 1350 100 SH SOLE 0 0 100 COM 607828100 2804011 12939 SH SOLE 0 0 12939 CL B 60871R209 2584 60 SH SOLE 0 0 60 CL A 609207105 71301 1237 SH SOLE 0 0 1237 COM NEW 617446448 151240 919 SH SOLE 0 0 919 COM 62944T105 6590 1 SH SOLE 0 0 1 COM 631103108 254670 3000 SH SOLE 0 0 3000 SPONSORED ADR NE 636274409 846 10 SH SOLE 0 0 10 COM 637417106 9499 226 SH SOLE 0 0 226 COM NEW 638842302 1311823 498792 SH SOLE 0 0 498792 COM UNIT LTD PAR 63900P608 968 8 SH SOLE 0 0 8 COM 64110D104 2867 28 SH SOLE 0 0 28 COM 64110L106 23076 240 SH SOLE 0 0 240 DEPOSITORY RCPT 644206104 1747234 29019 SH SOLE 0 0 29019 COM SH BEN INT 644323107 143327 11457 SH SOLE 0 0 11457 COM 651639106 77074 712 SH SOLE 0 0 712 COM 65339F101 546692 5886 SH SOLE 0 0 5886 COM NEW 65340G205 96684 20703 SH SOLE 0 0 20703 COM UNIT PART IN 65341B106 1912 180 SH SOLE 0 0 180 COM 65341D102 900 36 SH SOLE 0 0 36 COM 65342T106 573205 44469 SH SOLE 0 0 44469 COM 65406E102 107006 720 SH SOLE 0 0 720 CL B 654106103 131099 2482 SH SOLE 0 0 2482 COM 65473P105 38728 830 SH SOLE 0 0 830 COM 655844108 516600 1800 SH SOLE 0 0 1800 COM 664121100 166600 7000 SH SOLE 0 0 7000 COM 666762109 1057148 46204 SH SOLE 0 0 46204 COM 666807102 34112 50 SH SOLE 0 0 50 COM NEW 670002401 407 50 SH SOLE 0 0 50 ADR 670100205 14957 407 SH SOLE 0 0 407 COM 670346105 254496 1505 SH SOLE 0 0 1505 COM 67066G104 474552 2721 SH SOLE 0 0 2721 COM 67073B106 204666 27144 SH SOLE 0 0 27144 COM 67077M108 52897 701 SH SOLE 0 0 701 CL A COM 67079K100 6775 625 SH SOLE 0 0 625 COM 671807105 32 1 SH SOLE 0 0 1 COM 674599105 18980 292 SH SOLE 0 0 292 *W EXP 08/03/202 674599162 1330 31 SH SOLE 0 0 31 COM 675234108 93970 5209 SH SOLE 0 0 5209 COM 679580100 4690 24 SH SOLE 0 0 24 COM 680033107 707465 32012 SH SOLE 0 0 32012 COM 680223104 219450 5500 SH SOLE 0 0 5500 COM 680277100 221760 11000 SH SOLE 0 0 11000 COM 681919106 115149 1529 SH SOLE 0 0 1529 COM 682189105 7492 121 SH SOLE 0 0 121 NEW COM 682680103 768244 8499 SH SOLE 0 0 8499 COM 68389X105 223607 1520 SH SOLE 0 0 1520 SHS 68390D106 3802 100 SH SOLE 0 0 100 COM NEW 68622E203 96895 191265 SH SOLE 0 0 191265 COMMON STOCK 68622V106 1797 300 SH SOLE 0 0 300 COM 68629Y103 301 140 SH SOLE 0 0 140 COM 688239201 3680 25 SH SOLE 0 0 25 COM 68902V107 87948 1141 SH SOLE 0 0 1141 COM 69047Q102 86072 1450 SH SOLE 0 0 1450 COM 690732102 912 400 SH SOLE 0 0 400 COM 69121K104 2212 200 SH SOLE 0 0 200 COM 69331C108 186902 10638 SH SOLE 0 0 10638 PGIM ULTRA SH BD 69344A107 2129 43 SH SOLE 0 0 43 COM 693475105 249708 1200 SH SOLE 0 0 1200 COM 69351T106 4469 117 SH SOLE 0 0 117 SHS 69355M107 4267 330 SH SOLE 0 0 330 COM 693718108 50820 440 SH SOLE 0 0 440 PAC ASSET FLTG 69374H428 2779 60 SH SOLE 0 0 60 PACER US SMALL 69374H857 115260 2569 SH SOLE 0 0 2569 DEVELOPED MRKT 69374H873 259224 6108 SH SOLE 0 0 6108 US CASH COWS 100 69374H881 113944 1821 SH SOLE 0 0 1821 COM 69404D108 1254 950 SH SOLE 0 0 950 CL A 69608A108 170416 1165 SH SOLE 0 0 1165 COM 697435105 156793 978 SH SOLE 0 0 978 CL B 69932A204 4672 518 SH SOLE 0 0 518 COM 700885106 2593942 91336 SH SOLE 0 0 91336 COM 70319R109 188503 14773 SH SOLE 0 0 14773 COM 70450Y103 8006 177 SH SOLE 0 0 177 COM 70805E109 1524 50 SH SOLE 0 0 50 COM 70959W103 69527 465 SH SOLE 0 0 465 COM 713448108 1781803 11474 SH SOLE 0 0 11474 COM 714167103 6982635 234238 SH SOLE 0 0 234238 COM 717081103 1862909 66343 SH SOLE 0 0 66343 COM NEW 71715X104 1 2 SH SOLE 0 0 2 COM 718172109 594067 3593 SH SOLE 0 0 3593 COM 718546104 225737 1239 SH SOLE 0 0 1239 ENHNCD LW DUR AC 72201R718 609657 6363 SH SOLE 0 0 6363 ACTIVE BD ETF 72201R775 1009769 10942 SH SOLE 0 0 10942 ENHAN SHRT MA AC 72201R833 1609 16 SH SOLE 0 0 16 CL A 72352L106 183 10 SH SOLE 0 0 10 COM 724479100 5525 500 SH SOLE 0 0 500 UNIT LTD PARTN 726503105 217896 9758 SH SOLE 0 0 9758 COM 729273102 5188736 106283 SH SOLE 0 0 106283 COM 731068102 21855 401 SH SOLE 0 0 401 COM 74065P101 3420 1000 SH SOLE 0 0 1000 COM 74144T108 2704 30 SH SOLE 0 0 30 COM 74251V102 16220 180 SH SOLE 0 0 180 COM 742718109 687628 4761 SH SOLE 0 0 4761 COM 74340W103 2644 20 SH SOLE 0 0 20 MSCI EUR DIV 74347B540 205604 4010 SH SOLE 0 0 4010 S&P MDCP 400 DIV 74347B680 319803 3701 SH SOLE 0 0 3701 RUSS 2000 DIVD 74347B698 177684 2583 SH SOLE 0 0 2583 LARGE CAP CRE 74347R248 249151 3330 SH SOLE 0 0 3330 S&P 500 DV ARIST 74348A467 157425 1485 SH SOLE 0 0 1485 COM 744320102 237289 2429 SH SOLE 0 0 2429 COM 745867101 8115 69 SH SOLE 0 0 69 COM 74623V103 3156 608 SH SOLE 0 0 608 FRANKLIN CALIF 746729839 3462 476 SH SOLE 0 0 476 COMMON STOCK 74743L100 49214 427 SH SOLE 0 0 427 COM 747525103 552412 4290 SH SOLE 0 0 4290 COM 74762E102 7137 13 SH SOLE 0 0 13 COM 74766W108 1028 150 SH SOLE 0 0 150 COM CL A 74767V109 798 125 SH SOLE 0 0 125 COM NEW 74837P405 1876 200 SH SOLE 0 0 200 MOTLEY FOOL GBL 74933W635 8759 310 SH SOLE 0 0 310 CUM CONV PFD A 74965L200 62660 2600 SH SOLE 0 0 2600 CL A 74967R106 51654 3339 SH SOLE 0 0 3339 COM 750940108 52459 1261 SH SOLE 0 0 1261 COM 754907103 3938 191 SH SOLE 0 0 191 COM 75508B104 221400 20000 SH SOLE 0 0 20000 COM 75513E101 559603 2901 SH SOLE 0 0 2901 CL A 755408101 1130 1000 SH SOLE 0 0 1000 COM 756109104 256895 4199 SH SOLE 0 0 4199 COM 758075402 25226 4497 SH SOLE 0 0 4497 SPONSORED ADR 759530108 3779 114 SH SOLE 0 0 114 COM 75970E107 282211 7811 SH SOLE 0 0 7811 COM 759720105 6560 2000 SH SOLE 0 0 2000 COM 76118Y104 28080 833 SH SOLE 0 0 833 COM 76131D103 153564 2078 SH SOLE 0 0 2078 COMMON STOCK 76655K103 0 0 SH SOLE 0 0 0 SPONSORED ADR 767204100 3732 40 SH SOLE 0 0 40 COM 769397100 101750 18500 SH SOLE 0 0 18500 COM CL A 76954A103 21341 1418 SH SOLE 0 0 1418 COM CL A 770700102 12613 182 SH SOLE 0 0 182 COM 773121108 5330 83 SH SOLE 0 0 83 COM 773903109 3230 9 SH SOLE 0 0 9 COM CL A 77543R102 6623 70 SH SOLE 0 0 70 COM 776696106 3539 10 SH SOLE 0 0 10 COM 778296103 5199 24 SH SOLE 0 0 24 COM 780087102 60668 375 SH SOLE 0 0 375 SPON ADS 780259305 67518 726 SH SOLE 0 0 726 COM 780287108 7271 29 SH SOLE 0 0 29 TR UNIT 78462F103 150229 231 SH SOLE 0 0 231 GOLD SHS 78463V107 72719 169 SH SOLE 0 0 169 PORTFOLIO DEVLPD 78463X889 20771 455 SH SOLE 0 0 455 NUVEEN BLOOMBERG 78464A284 3472 140 SH SOLE 0 0 140 PORTFLO S&P500 GW 78464A409 100749 1029 SH SOLE 0 0 1029 PORTFOLIO SHORT 78464A474 17350 577 SH SOLE 0 0 577 STATE STREET SPD 78464A508 1697 30 SH SOLE 0 0 30 S&P DIVID ETF 78464A763 99239 680 SH SOLE 0 0 680 S&P BK ETF 78464A797 30508 512 SH SOLE 0 0 512 STATE STREET SPD 78464A805 24034 304 SH SOLE 0 0 304 PORTFOLIO S&P500 78464A854 45082 589 SH SOLE 0 0 589 S&P BIOTECH 78464A870 12773 100 SH SOLE 0 0 100 S&P HOMEBUILD 78464A888 691 7 SH SOLE 0 0 7 SPDR TR TACTIC 78467V848 46524 1171 SH SOLE 0 0 1171 UTSER1 S&PDCRP 78467Y107 4317 7 SH SOLE 0 0 7 BLOOMBERG INVT 78468R200 17268 561 SH SOLE 0 0 561 BLOOMBERG 1-3 MO 78468R663 23093 252 SH SOLE 0 0 252 SPDR MSCI USA GE 78468R747 2301 18 SH SOLE 0 0 18 PRTFLO S&P500 HI 78468R788 15613 343 SH SOLE 0 0 343 PORTFOLIO S&P500 78468R853 31891 660 SH SOLE 0 0 660 COM 790148100 413601 6586 SH SOLE 0 0 6586 COM 79466L302 117229 628 SH SOLE 0 0 628 COM 80004C200 5083 8 SH SOLE 0 0 8 SPONSORED ADR 80105N105 2409 50 SH SOLE 0 0 50 COM STK 806857108 321188 6250 SH SOLE 0 0 6250 COM 808513105 45674 486 SH SOLE 0 0 486 US BRD MKT ETF 808524102 6476 258 SH SOLE 0 0 258 US LRG CAP ETF 808524201 11794 460 SH SOLE 0 0 460 US LCAP GR ETF 808524300 583 20 SH SOLE 0 0 20 US MID-CAP ETF 808524508 4087 132 SH SOLE 0 0 132 US SML CAP ETF 808524607 2500 86 SH SOLE 0 0 86 INTERNL DIVID 808524672 129679 4096 SH SOLE 0 0 4096 US DIVIDEND EQ 808524797 393377 12822 SH SOLE 0 0 12822 INTL EQTY ETF 808524805 5050 204 SH SOLE 0 0 204 US AGGREGATE B 808524839 1527 66 SH SOLE 0 0 66 US REIT ETF 808524847 2582 120 SH SOLE 0 0 120 COM 808625107 570 6 SH SOLE 0 0 6 SBI HEALTHCARE 81369Y209 58937 402 SH SOLE 0 0 402 SBI CONS STPLS 81369Y308 105180 1283 SH SOLE 0 0 1283 SBI CONS DISCR 81369Y407 302311 2774 SH SOLE 0 0 2774 ENERGY 81369Y506 1095390 17881 SH SOLE 0 0 17881 FINANCIAL 81369Y605 501458 10157 SH SOLE 0 0 10157 SBI INT-INDS 81369Y704 98655 610 SH SOLE 0 0 610 TECHNOLOGY 81369Y803 362817 2730 SH SOLE 0 0 2730 COMMUNICATION 81369Y852 206421 1862 SH SOLE 0 0 1862 STATE STREET UTI 81369Y886 3901 85 SH SOLE 0 0 85 COM NEW 81642T209 423 100 SH SOLE 0 0 100 COM 816851109 5733 59 SH SOLE 0 0 59 NEW CL A 817070501 3021796 19996 SH SOLE 0 0 19996 SHS 817225204 19 15 SH SOLE 0 0 15 EQUABLE SHARES H 81752T411 5796 200 SH SOLE 0 0 200 COM 817565104 4208 51 SH SOLE 0 0 51 COM 81762P102 18401 176 SH SOLE 0 0 176 SHS 82509L107 2372 20 SH SOLE 0 0 20 COM 82657M105 7540 2000 SH SOLE 0 0 2000 SPONSORED ADR 82706C108 3593 32 SH SOLE 0 0 32 COM 82835P103 42960 4000 SH SOLE 0 0 4000 NEW COM 828806109 120498 646 SH SOLE 0 0 646 COMMON STOCK 829933100 1500 65 SH SOLE 0 0 65 COM CL A 83067L208 26 10 SH SOLE 0 0 10 COM 830879102 1010 11 SH SOLE 0 0 11 COM NEW 83190L208 1111083 28431 SH SOLE 0 0 28431 COM 832156103 106438 3272 SH SOLE 0 0 3272 COM NEW 832696405 91854 952 SH SOLE 0 0 952 CL A 83304A106 1380 300 SH SOLE 0 0 300 SHS 833445109 905 6 SH SOLE 0 0 6 SHS 83443Q103 99770 1310 SH SOLE 0 0 1310 SHS 83444M101 27100 415 SH SOLE 0 0 415 COM 836100107 4500 655 SH SOLE 0 0 655 COM 83671M105 1033 31 SH SOLE 0 0 31 COM 84252A106 86793 4898 SH SOLE 0 0 4898 COM 842587107 96906 1004 SH SOLE 0 0 1004 COM 844741108 24045 640 SH SOLE 0 0 640 COM NEW 852066208 50015 350 SH SOLE 0 0 350 UNIT 85207H104 73538 2075 SH SOLE 0 0 2075 TR UNIT 85207K107 229388 9405 SH SOLE 0 0 9405 TR UNIT 85208R101 226050 4737 SH SOLE 0 0 4737 COM NEW 85209E208 850 13 SH SOLE 0 0 13 COM 85254J102 865 24 SH SOLE 0 0 24 COM CL A 85256A109 328338 52200 SH SOLE 0 0 52200 COM 854502101 60355 849 SH SOLE 0 0 849 COM 855244109 555996 6206 SH SOLE 0 0 6206 COM 85571B105 2101 122 SH SOLE 0 0 122 COM 857477103 474600 3750 SH SOLE 0 0 3750 COM 861780104 489709 25693 SH SOLE 0 0 25693 COM 863667101 15444 47 SH SOLE 0 0 47 COM 864159108 322965 8056 SH SOLE 0 0 8056 COM 866264203 4640233 347063 SH SOLE 0 0 347063 COM 866674104 756 6 SH SOLE 0 0 6 COM UT REP LP 86765K109 18257 281 SH SOLE 0 0 281 NEW COM 867892101 46311 5140 SH SOLE 0 0 5140 COMMON STOCK 871332102 7172 170 SH SOLE 0 0 170 NEW COM 872540109 25233 158 SH SOLE 0 0 158 CL A 87256C101 5041 25 SH SOLE 0 0 25 COM 872590104 32145 153 SH SOLE 0 0 153 SPONSORED ADS 874039100 62859 186 SH SOLE 0 0 186 COM 87538X105 5 2 SH SOLE 0 0 2 COM 876030107 11289 80 SH SOLE 0 0 80 COM 87612E106 93688 773 SH SOLE 0 0 773 COM 87807B107 15838 253 SH SOLE 0 0 253 COM NEW 878739200 2258 750 SH SOLE 0 0 750 CL B 878742204 33431 646 SH SOLE 0 0 646 SH BEN INT 87911J103 445 25 SH SOLE 0 0 25 COM 879360105 4235 7 SH SOLE 0 0 7 SPONSORED ADS 87936R205 3214 202 SH SOLE 0 0 202 COM 88160R101 21190 57 SH SOLE 0 0 57 COM 882508104 204839 1055 SH SOLE 0 0 1055 COM 88262P102 72608 153 SH SOLE 0 0 153 COM 883203101 700 8 SH SOLE 0 0 8 COM CL A 88339J105 1815 80 SH SOLE 0 0 80 COM 883556102 40797 83 SH SOLE 0 0 83 COM 88427A107 0 1000 SH SOLE 0 0 1000 COM 88579Y101 466821 3214 SH SOLE 0 0 3214 COM 887389104 103084 1025 SH SOLE 0 0 1025 SHS 888314705 1 1 SH SOLE 0 0 1 COM NEW 891160509 30232 324 SH SOLE 0 0 324 ADS 892331307 27410 133 SH SOLE 0 0 133 COM 892356106 6795 150 SH SOLE 0 0 150 COM NEW 893617209 146496 4200 SH SOLE 0 0 4200 COM 89417E109 342201 1173 SH SOLE 0 0 1173 COM 896095106 99929 2102 SH SOLE 0 0 2102 COM 89832Q109 112351 2444 SH SOLE 0 0 2444 COM NEW 902973304 583247 11214 SH SOLE 0 0 11214 COM 903002103 1198022 83023 SH SOLE 0 0 83023 COM 90353T100 11868 165 SH SOLE 0 0 165 CL C 904311206 87 15 SH SOLE 0 0 15 SPON ADR NEW 904767803 74004 1299 SH SOLE 0 0 1299 COM 907818108 1581640 6519 SH SOLE 0 0 6519 COM 90984P303 1260 40 SH SOLE 0 0 40 COM 910047109 1841 20 SH SOLE 0 0 20 COM 910571108 22271 3324 SH SOLE 0 0 3324 CL B 911312106 701186 7127 SH SOLE 0 0 7127 COM 911363109 15300 21 SH SOLE 0 0 21 COM 911460103 105783 10065 SH SOLE 0 0 10065 COM 912008109 9774 106 SH SOLE 0 0 106 COM 91324P102 309284 1143 SH SOLE 0 0 1143 COM 91332U101 56825 2590 SH SOLE 0 0 2590 COM 918204108 629 37 SH SOLE 0 0 37 COM NEW 91851C201 6567 1036 SH SOLE 0 0 1036 COM 91879Q109 1796 14 SH SOLE 0 0 14 COM 91913Y100 7907 32 SH SOLE 0 0 32 COM 92047W101 2492 74 SH SOLE 0 0 74 GOLD MINERS ETF 92189F106 201894 2200 SH SOLE 0 0 2200 BDC INCOME ETF 92189F411 10752 840 SH SOLE 0 0 840 OIL SERVICES ETF 92189H607 4851 12 SH SOLE 0 0 12 DIV APP ETF 921908844 3056321 14211 SH SOLE 0 0 14211 VG TL INTL STK F 921909768 61919 803 SH SOLE 0 0 803 ESG US STK ETF 921910733 67699 603 SH SOLE 0 0 603 500 GRTH IDX F 921932505 3669 9 SH SOLE 0 0 9 INTERMED TERM 921937819 6946 90 SH SOLE 0 0 90 SHORT TRM BOND 921937827 20935 267 SH SOLE 0 0 267 TOTAL BND MRKT 921937835 22018 299 SH SOLE 0 0 299 VAN FTSE DEV MKT 921943858 344578 5377 SH SOLE 0 0 5377 HIGH DIV YLD 921946406 312935 2113 SH SOLE 0 0 2113 INTL HIGH ETF 921946794 1414 15 SH SOLE 0 0 15 INTL DVD ETF 921946810 3096 35 SH SOLE 0 0 35 STRM INFPROIDX 922020805 2048 41 SH SOLE 0 0 41 FTSE SMCAP ETF 922042718 6123 42 SH SOLE 0 0 42 TT WRLD ST ETF 922042742 2319 17 SH SOLE 0 0 17 ALLWRLD EX US 922042775 3004 40 SH SOLE 0 0 40 FTSE EMR MKT ETF 922042858 208284 3854 SH SOLE 0 0 3854 ENERGY ETF 92204A306 719154 4156 SH SOLE 0 0 4156 INF TECH ETF 92204A702 4186 6 SH SOLE 0 0 6 SHRT TRM CORP BD 92206C409 102892 1298 SH SOLE 0 0 1298 VNG RUS1000GRW 92206C680 4388 40 SH SOLE 0 0 40 INTER TERM TREAS 92206C706 2620 44 SH SOLE 0 0 44 VNG RUS1000VAL 92206C714 3937 42 SH SOLE 0 0 42 LONG TERM TREAS 92206C847 4761 86 SH SOLE 0 0 86 COM 922280102 3285 153 SH SOLE 0 0 153 COM 92243G108 25104 432 SH SOLE 0 0 432 COM 92276F100 10141 124 SH SOLE 0 0 124 S&P 500 ETF SHS 922908363 469674 786 SH SOLE 0 0 786 MCAP VL IDXVIP 922908512 5713 31 SH SOLE 0 0 31 REAL ESTATE ETF 922908553 28561 322 SH SOLE 0 0 322 SML CP GRW ETF 922908595 55312 183 SH SOLE 0 0 183 SM CP VAL ETF 922908611 25636 118 SH SOLE 0 0 118 MID CAP ETF 922908629 372592 1297 SH SOLE 0 0 1297 LARGE CAP ETF 922908637 249241 834 SH SOLE 0 0 834 GROWTH ETF 922908736 1101132 2521 SH SOLE 0 0 2521 VALUE ETF 922908744 878804 4479 SH SOLE 0 0 4479 SMALL CP ETF 922908751 212974 813 SH SOLE 0 0 813 TOTAL STK MKT 922908769 1965924 6128 SH SOLE 0 0 6128 SHS 92338C103 44210 500 SH SOLE 0 0 500 COM 92343V104 1267581 25251 SH SOLE 0 0 25251 COM 92345Y106 2277 12 SH SOLE 0 0 12 COM CL A 925283103 1111 30 SH SOLE 0 0 30 COM 92532F100 9377 21 SH SOLE 0 0 21 COM 925550105 599 18 SH SOLE 0 0 18 COM 92556V106 43057 3187 SH SOLE 0 0 3187 COM CL A 92645B103 339055 5178 SH SOLE 0 0 5178 SHORT TRM BD ETF 92647N535 8396 166 SH SOLE 0 0 166 COM CL A 92826C839 3905093 12921 SH SOLE 0 0 12921 SPONSORED ADR 92857W308 18655 1242 SH SOLE 0 0 1242 COM NEW 92859G608 25040 7588 SH SOLE 0 0 7588 COM 928881101 45934 1295 SH SOLE 0 0 1295 COM 929089100 1571 23 SH SOLE 0 0 23 COM 929740108 753 3 SH SOLE 0 0 3 COM 931142103 1021084 8216 SH SOLE 0 0 8216 COM SER A 934423104 43359 1579 SH SOLE 0 0 1579 COM 938824109 3391 108 SH SOLE 0 0 108 COM 94106B101 3574 22 SH SOLE 0 0 22 COM 94106L109 910888 3964 SH SOLE 0 0 3964 COM 941848103 893 3 SH SOLE 0 0 3 COM 949746101 362006 4547 SH SOLE 0 0 4547 COM 95040Q104 793608 4014 SH SOLE 0 0 4014 COM 957638109 3401 48 SH SOLE 0 0 48 COM 958102105 6492 24 SH SOLE 0 0 24 COM UNIT LP INT 958669103 5352 130 SH SOLE 0 0 130 COM 959802109 1528 175 SH SOLE 0 0 175 COM 960908507 2 1 SH SOLE 0 0 1 COM NEW 962166104 3176 130 SH SOLE 0 0 130 COM 962879102 8516 65 SH SOLE 0 0 65 COM 966084204 24225 1500 SH SOLE 0 0 1500 CL A 968223206 1201489 31535 SH SOLE 0 0 31535 CL B 968223305 455389 12134 SH SOLE 0 0 12134 COM 969457100 749343 10296 SH SOLE 0 0 10296 US HIGH DIVIDEND 97717W208 406517 3722 SH SOLE 0 0 3722 EMER MKT HIGH FD 97717W315 17392 350 SH SOLE 0 0 350 INDIA ERNGS FD 97717W422 21624 530 SH SOLE 0 0 530 EM EX ST-OWNED 97717X578 3970 99 SH SOLE 0 0 99 EUROPE HEDGED EQ 97717X701 437019 8356 SH SOLE 0 0 8356 FLOATING RAT TREA 97717Y527 1200802 23854 SH SOLE 0 0 23854 CL A 98138H101 106794 822 SH SOLE 0 0 822 COM 98419M100 1076 9 SH SOLE 0 0 9 COM 98850P109 9610 197 SH SOLE 0 0 197 COM 98942X102 106 200 SH SOLE 0 0 200 COM 98956P102 1628 18 SH SOLE 0 0 18 COM 989701107 2247 39 SH SOLE 0 0 39 CL A 98978V103 5201 44 SH SOLE 0 0 44 ACT F92124100 10099 111 SH SOLE 0 0 111 SHS G0084W101 222 11 SH SOLE 0 0 11 COM NEW G0250X149 1193 30 SH SOLE 0 0 30 SHS G02602103 1370 21 SH SOLE 0 0 21 SHS G037AX101 5148 100 SH SOLE 0 0 100 ORD G0593M107 9072 46 SH SOLE 0 0 46 CLASS A G1151C101 3569 18 SH SOLE 0 0 18 SHS G1466R173 866 150 SH SOLE 0 0 150 PARTNERSHIP UNIT G16258108 10380 318 SH SOLE 0 0 318 SHS G1890L107 899 51 SH SOLE 0 0 51 SHS G29183103 3577 10 SH SOLE 0 0 10 SHS G3265R107 3819 55 SH SOLE 0 0 55 COM CL A G3933F105 32676 1200 SH SOLE 0 0 1200 SHS G4705A100 1328 12 SH SOLE 0 0 12 SHS G51502105 73856 564 SH SOLE 0 0 564 SHS G5960L103 358991 4143 SH SOLE 0 0 4143 ORD SHS A G65431127 98140 2000 SH SOLE 0 0 2000 SHS G87052109 5644 27 SH SOLE 0 0 27 SHS G8994E103 10419 25 SH SOLE 0 0 25 SHS H11356104 92856 730 SH SOLE 0 0 730 COM H1467J104 69423 213 SH SOLE 0 0 213 SHS H2927K103 149854 2675 SH SOLE 0 0 2675 SHS M9T951109 1318 50 SH SOLE 0 0 50 SHS - A - N53745100 70329 873 SH SOLE 0 0 873 SHS N5505D105 2571 172 SH SOLE 0 0 172 CLASS A N97284108 50427 486 SH SOLE 0 0 486 CL A P31076105 2954 26 SH SOLE 0 0 26 COM V7780T103 837 3 SH SOLE 0 0 3